Professional Documents
Culture Documents
for
Basic Process
Improvement
May 1996
Table of Contents
Section
Page
Introduction
1
1
2
2
3
3
4
11
17
19
21
23
25
27
28
30
31
32
33
35
List of Forms
Process Selection Worksheet
13
16
List of Illustrations
Illustration
Page
Step 1 flowchart
Step 2 flowchart
11
Sample Agenda
15
Step 3 flowchart
17
Step 4 flowchart
19
Step 5 flowchart
21
Step 6 flowchart
23
Step 7 flowchart
25
Plan-Do-Check-Act Cycle
26
Step 8 flowchart
27
Step 9 flowchart
28
Step 10 flowchart
30
Step 11 flowchart
31
Step 12 flowchart
32
Step 13 flowchart
33
Step 14 flowchart
35
ii
Introduction
What is the new Handbook for Basic Process Improvement?
The new handbook has been developed to assist team leaders at all levels who are
involved in process improvement efforts. Together with the Basic Tools for Process
Improvement, or tools kit, it provides the practical information you need to initiate and
successfully carry out process improvement activities.
The approach and tools described in the handbook follow a Basic Process Improvement
Model. This model differs in many respects from the Process Improvement Flowchart
found in the CNO-sponsored Starter Kit for Basic Process Improvement distributed to
commanding officers several years ago. The Basic Process Improvement Model is much
more detailed, in keeping with the how to approach used in the new handbook.
Together, the model and handbook explain the actual actions teams must take to improve
a process.
Before diving into the step-by-step discussion, lets first clarify some terms, look at the
benefits of process improvement, and think about the best way to get started.
What is a process?
A process is no more than the steps and decisions involved in the way work is
accomplished. Everything we do in our lives involves processes and lots of them.
Here are some examples:
writing a work order
shooting a weapon
repairing a valve
ordering a part
performing a test
conducting an UNREP
preparing a message
loading a missile
allocating a budget
mooring a ship
conducting a drill
Using all 14 steps of the model will increase the teams process knowledge, broaden
decision-making options, and enhance the likelihood of satisfactory long-term results.
Lets take a quick look at whats in each of the steps in the model.
Step 1:
Step 2:
Organize a team to improve the process. This involves selecting the right
people to serve on the team; identifying the resources available for the
improvement effort, such as people, time, money, and materials; setting
reporting requirements; and determining the teams level of authority. These
elements may be formalized in a written charter.
Step 3:
Step 4:
Step 5:
Step 1
Select a process and
establish the improvement
objective
Step 9
Plan to implement the
process change
Step 2
Organize the right team
Step 10
Modify the data collection
plan (if necessary)
Step 3
Flowchart the current
process
Step 11
Test the change and
collect data
Step 4
Simplify the process and
make changes
Step 12
Remove the
change
Step 5
Develop a data
collection plan and
collect baseline data
No
Yes
No
Step 6
Remove special
cause(s)
No
Step 6
Is the process
stable?
Step 13
Keep the
change?
Step 7
Is the process
capable?
No
Yes
Yes
Yes
No
Step 8
Identify root causes for
lack of capability
Step 14
Is further
improvement
feasible?
Step 12
Is the modified
process
stable?
Step 13
Did the process
improve?
Yes
No
Step 14
Standardize the process
and reduce the frequency
of data collection
Yes
A
Step 6:
Assess whether the process is stable . The team creates a control chart or run
chart out of the data collected in Step 5 to gain a better understanding of what is
happening in the process. The follow-on actions of the team are dictated by
whether special cause variation is found in the process.
Step 7:
Step 8:
Identify the root causes which prevent the process from meeting the
objective. The team begins the Plan-Do-Check-Act Cycle here, using the
cause-and-effect diagram or brainstorming tools to generate possible reasons
why the process fails to meet the desired objective.
Step 9:
Develop a plan for implementing a change based on the possible reasons for
the processs inability to meet the objective set for it.
These root causes were
identified in Step 8. The planned improvement involves revising the steps in the
simplified flowchart created after changes were made in Step 4.
Step 10: Modify the data collection plan developed in Step 5, if necessary.
Step 11: Test the changed process and collect data.
Step 12: Assess whether the changed process is stable . As in Step 6, the team uses a
control chart or run chart to determine process stability. If the process is stable,
the team can move on to Step 13; if not, the team must return the process to its
former state and plan another change.
Step 13: Assess whether the change improved the process. Using the data collected in
Step 11 and a histogram, the team determines whether the process is closer to
meeting the process improvement objective established in Step 1. If the
objective is met, the team can progress to Step 14; if not, the team must decide
whether to keep or discard the change.
Step 14: Determine whether additional process improvements are feasible.
The team
is faced with this decision following process simplification in Step 7 and again
after initiating an improvement in Steps 8 through 13. In Step 14, the team has
the choice of embarking on continuous process improvement by reentering the
model at Step 9, or simply monitoring the performance of the process until
further improvement is feasible.
Establish the
process improvement
objective
Determine the
starting and stopping
points of the process
Step 2
The selected process should occur often enough to be observed and documented. The
team should be able to complete at least one improvement cycle within 30 to 90 days;
otherwise, they may lose interest.
The process boundaries have to be determined. These are the starting and stopping
points of the process that provide a framework within which the team will conduct its
process improvement efforts. As an example, the process by which a fire hose is
routed to the scene of a casualty drill would have these boundaries:
Starting Point Stopping Point -
It is crucial to make sure that the steps involved in meeting the process improvement
objective are located inside the boundaries.
a.
b.
c.
d.
___1. The process can be defined. (Be careful not to pick something too big. It should be
possible to complete the improvement effort within 90 days.)
___2. A problem in the process occurs frequently. (A Pareto analysis may be helpful.)
___3. The problem area is well-known and has visibility in the command, work center, or
office.
___4. Improvement of this process is important to the command.
___5. People will appreciate it if the process is improved.
___6. There is a good chance of success in improving the process.
___7. No one else is currently working on this process.
___8. Required changes can be put into effect with little or no outside help.
___9. This is truly a process improvement effort, not just an attempt to impose a solution
on a problem.
NOTE :
A Pareto analysis can help the team identify one or more factors or problems which
occur frequently and can be investigated by the team. This analysis would be based on
some preliminary data collected by the team. Pareto Charts are explained in the Basic
Tools for Process Improvement.
After command members have some experience working with the Basic Process
Improvement Model, processes can be selected which have been performing poorly or
which offer a potentially high payback in improving mission performance. The former
category might include drills and procedures which are routinely accomplished in a less
than satisfactory manner. The latter category includes mission critical processes, such
as conducting main space fire drills. In each case, its best to move from the simple to
the complicated, and from the better performing to the worst performing processes.
A process that is primarily controlled, or significantly constrained, by outside factors is
probably not a good candidate for improvement by command personnel. Processes
selected must be controlled entirely within the lifelines of the command.
Only one team should be assigned to work on each process improvement.
time can be reduced to as little as four hours by improving the process. The
process improvement objective can be stated this way: High-pressure air
compressor fourth stage seals are repaired in four hours or less, with no increase in
the mean time between failures for the repaired parts.
If the way firefighters check for explosive gases in a compartment during a fire drill
is described simply as unsatisfactory, few people will know how to state the
process improvement objective. But, if the nature of the problem is clearly stated as
50 percent of the firefighters do not know how to operate the Explosivemeter, the
objective can be stated this way: At least 95 percent of our firefighters can operate
the Explosivemeter in a satisfactory manner.
A team formulating a process improvement objective may find it helpful to proceed in this
way:
Write a description of the process, starting, The process by which we...
Specify the objective of the process improvement effort.
Operationally define the objective in writing. (See Module 1 of the Basic Tools for
Process Improvement.)
Use numerical specification limits for process improvement objectives whenever
possible. (See the discussion of process capability in Step 7.)
A final note: Without a stated improvement objective, the team may conduct meetings but
achieve little improvement in the effectiveness, efficiency, or safety of their process. A
clearly stated process improvement objective keeps the teams efforts focused on results.
The tools the team needs to select the process to work on and establish the process
improvement objective are described in the following modules of the Basic Tools for
Process Improvement:
Module 1:
Module 2:
Module 3:
Module 8:
10
Operational Definitions
Brainstorming
Decision-Making Tools
Pareto Chart
Pick members so
the team covers
knowledge of all
of the steps
Choose a
team leader
Execute a
verbal or written
charter for the team
Conduct team
training on process
improvement
Team Size
Teams consisting of 5 to 7 members seem to function most
effectively. While larger teams are not uncommon, studies
have shown that teams with more than 8 to 10 members may
have trouble reaching consensus and achieving objectives.
Team Leader
The team leader may be chosen in any of several ways. The
commanding officer, department head, or process owner may
appoint a knowledgeable individual to lead the team, or the
process owner may opt to fill the position personally.
Alternatively, the team members may elect the team leader
from their own ranks during the first meeting. Any of these
methods of selecting a leader is acceptable.
The team leader has the following responsibilities:
Step 3
The teams decision-making authority. The team may only be able to make
recommendations based on their data collection and analysis efforts; or, they may
be granted authority to implement and test changes without prior approval.
The time limit for the team to complete the improvement actions, if any.
Determine how the teams results and recommendations will be communicated to the
chain of command.
11
Arrange for the resourcesmoney, material, training, other peoplewhich the team
needs to do the job.
Decide how much time the team will devote to process improvement. Sometimes,
improving a process is important enough to require a full-time effort by team members
for a short period. At other times, the improvement effort is best conducted at intervals
in one- or two-hour segments.
Team Members
Team members are selected by the team leader or the individual who formed the team.
Members may be of various ranks, rates, paygrades, or ratings. Depending on the nature
of the process, they may come from different departments, divisions, work centers, or
offices. The key factor is that the people selected for the team should be closely involved
in the process that is being improved.
Being a team member has certain obligations. Members are responsible for carrying out
all team-related work assignments, such as data collection, data analysis, presentation
development, sharing knowledge, and participation in team discussions and decisions.
Ideally, when actual process workers are on a team, they approach these responsibilities
as an opportunity to improve the way their jobs are done, rather than as extra work.
Team Charter
A charter is a document that describes the boundaries, expected results, and resources to
be used by a process improvement team. A charter is usually provided by the individual or
group who formed the team. Sometimes the process owner or the team members develop
a charter. A charter is always required for a team working on a process that crosses
departmental lines. A charter may not be necessary for a team that is improving a process
found solely within a work center of office space.
A charter should identify the following:
Process to be improved
Resources to be provided
Reporting requirements
Other information pertinent to the improvement effort may also be included, such as the
names of the process owner and quality advisor, recommended frequency of meetings, or
any other elements deemed necessary by those chartering the team. A format for
developing a team charterthe Team Charter Worksheet is provided on the next page.
12
DEPT ./D IV .
________________________
TEAM MEMBER
DEPT ./D IV .
T EAM B OUNDARIES
DATE BEGIN: _________________________ DATE END:____________________________
MEETING FREQUENCY: _______________________________________________________
DECISION-MAKING AUTHORITY: _________________________________________________
________________________________________________________________________
________________________________________________________________________
RESOURCES AVAILABLE: ______________________________________________________
________________________________________________________________________
________________________________________________________________________
REPORTING REQUIREMENTS:___________________________________________________
________________________________________________________________________
OTHER INFORMATION: ________________________________________________________
________________________________________________________________________
CHARTERED BY :____________________________________D
ATE :_________________
13
Participation
Courtesy
Assignments
Methods for making and tracking assignments and selecting the recorder.
Decisions
Focus
14
AGENDA EXAMPLE
A GENDA ITEM
TIME
RESPONSIBILITY
5 min.
MM1 Benson
5 min.
LTJG Smith
20 min.
Team
20 min.
Team
5. Evaluate meeting
5 min.
LTJG Smith
5 min.
MMC Todd
15
MEETING NO.:_______________
Name
Team Leader
Recorder
Member
Member
Member
Member
Member
Member
Facilitator
Guest
A GENDA ITEM
TIME
RESPONSIBILITY
NOTES
1. Warmup
2. Review minutes & agenda
3.
4.
5.
6.
7. Evaluate meeting
8. Prepare next mtg agenda
ITEMS FOR NEXT MEETING S A GENDA :
A CTIONS TO B E TAKEN :
1.
1.
2.
2.
3.
3.
4.
4.
5.
5.
16
Yes
Does the
team agree that the
flowchart is
correct?
No
Step 4
17
The team can define the current situation by answering these questions:
Does the flowchart show exactly how things are done now?
If not, what needs to be added or modified to make it an as-is picture of the
process?
Have the workers involved in the process contributed their knowledge of the
process steps and their sequence?
Are other members of the command involved in the process, perhaps as
customers? What did they have to say about how it really works?
After gathering this information, is it necessary to rewrite your process
improvement objective (Step 1)?
The tools the team needs to develop a flowchart of the current, or as-is, process are
explained in the following modules of the Basic Tools for Process Improvement :
Module 1:
Module 6:
18
Operational Definitions
Flowchart
No
Yes
No
Is the step
necessary?
Yes
What
would happen
if this step were
removed?
Process
still works
Process does
not work
Perform sanity check
using existing directives
Yes
Is the
team authorized
to make changes
to the process?
No
Step 5
Obtain permission
20
Operational Definitions
Flowchart
Some members of the team thought that the water temperature should be measured as it
boiled prior to the actual brewing of the coffee. Others thought that such a measurement
might be easy to obtain, and even interesting, but it would not help them understand why
cold coffee was found on the serving line.
21
The key to this segment of the model is to use process knowledge and common sense in
determining where to take measurements. The team should ask:
Will the data collected at this point help us
decide what to do to improve the process?
The team in the example investigated the process further and opted to take measurements
of the temperature of the coffee at the urn on the serving line.
Once the team determines what data to collectand why, how, where, and when to collect
itthey have the rudiments of a data collection plan. To implement the data collection
plan, the team develops a data collection sheet. This data collection sheet must include
explicit directions on how and when to use it. The team should try to make it as userfriendly as possible.
The team can collect baseline data when, and only when, the data collection plan is in
place, the data collection sheet has been developed, and the data collectors have been
trained in the procedures to use.
The tools the team needs to develop a data collection plan and begin collecting baseline
data are explained in the following modules of the Basic Tools for Process Improvement :
Module 1:
Module 2:
Module 6:
Module 7:
22
Operational Definitions
Brainstorming
Flowchart
Data Collection
Variables
Data
What type
of data was
collected?
Attribute
Data
Are
any of the
rules for assessing
stability
violated?
Yes
No
Step 5
Step 7
This is where a control chart or a run chart can help you analyze the data. Control Charts,
and to a lesser extent run charts, display variation and unusual patterns such as runs,
trends, and cycles. Data which are outside the computed control limits, or unusual
patterns in the graphic display of data, may be signals of the presence of special cause
variation that should be investigated.
In our example, investigation revealed that you were delayed by an early-morning phone
call from one of your children who is at college. The data provided a signal of special
cause variation in your getting-off-to-work process.
23
But what if, over a period of 10 days, a series of times is recorded that averaged 48
minutes? It seems that your getting-off-to-work process now includes making breakfast for
your son and daughter. This is not just a variation. The data indicate that your process
has changed .
While this example portrayed an obvious change in the process, subtle changes often
occur without the knowledge of the workers. These minor changes produce enough
variation to be evident when the data are analyzed. If special cause variation is found in
the process, the team is obliged to find the cause before moving on to the next step in
the model. Depending on the nature of the special cause, the team may act to remove it,
take note of it but no action, or incorporate it in the process.
When special cause variation reduces the effectiveness and efficiency of the process,
the team must investigate the root cause and take action to remove it.
If it is determined that the special cause was temporary in nature, no action may be
required beyond understanding the reason for it. In the example above, the early
phone call caused a variation in the data which was easily explained and required no
further action.
Occasionally, special cause variation actually signals an improvement in the process,
bringing it closer to the process improvement objective. When that happens, the team
may want to incorporate the change permanently.
If the team fails to investigate a signal of special cause variation and continues on with
their improvement activities, the process may be neither stable nor predictable in the
future. This lack of stability and predictability may cause additional problems to occur,
preventing the team from achieving the process improvement objective.
The tools the team needs to assess whether the process is stable are explained in the
following modules of the Basic Tools for Process Improvement :
Module 1:
Module 2:
Module 5:
Module 6:
Module 7:
Module 9:
Module 10:
24
Operational Definitions
Brainstorming
Cause-and-Effect Diagram
Flowchart
Data Collection
Run Chart
Control Chart
Yes
Do
specification
limits exist?
No
No
Are all
data points inside
the specification
limits?
Yes
Step 8
Does the
Histograms
shape approximate
a
bell curve?
Yes
Are the
data points
close enough to
the target?
Yes
No
Step 8
No
Do all of the data points fall inside the upper and lower specification limits (if
applicable)? If not, the process is not capable.
If all of the data points fall within the specification limits, are the data grouped
closely enough to the target value? This is a judgment call by the team. While the
process is capable, the team may not be satisfied with the results it produces. If
25
thats the case, the team may elect to continue trying to improve the process by
entering Step 8 of the Basic Process Improvement Model.
If there are no specification limits for the process, does the shape of the
histogram approximate a bell curve? After examining the shape created by
plotting the data on the histogram, the team has to decide whether the shape is
satisfactory and whether the data points are close enough to the target value.
These are subjective decisions. If the team is satisfied with both the shape and the
clustering of data points, they can choose to standardize the simplified process or to
continue through the steps of the Basic Process Improvement Model.
From here to the end of the Basic Process Improvement Model, the team is going to use a
scientific methodology for conducting process improvement called the Plan-Do-Check-Act
(PDCA) Cycle. They will plan a change, conduct a test and collect data, evaluate the test
results to find out whether the process improved, and decide whether to standardize or
continue to improve the process. The PDCA Cycle is just that: a cycle. There are no
limitations on how many times the team can attempt to improve the process incrementally.
Act
Plan
Check
Do
(Step 11)
The tools the team needs to assess whether the process is capable are explained in the
following modules of the Basic Tools for Process Improvement :
Module 1:
Module 7:
Module 11:
26
Operational Definitions
Data Collection
Histogram
Create a Cause-and-Effect
Diagram
No
Can the
causes be verified
from the data
collected?
Yes
Plot the data in a Pareto Chart
Step 9
Operational Definitions
Brainstorming
Decision-Making Tools
Affinity Diagram
Cause-and-Effect Diagram
Pareto Chart
27
Obtain
permission
No
Is the team
authorized to change
the process?
the
Yes
Change the process
Step 10
Operational Definitions
Brainstorming
Decision-Making Tools
Affinity Diagram
Cause-and-Effect Diagram
Flowchart
Data Collection
29
Step 9
Yes
Step 11
No
Modify the plan to
provide the data needed
to assess performance
of the changed process
The tools the team needs to modify the data collection plan are explained in the following
modules of the Basic Tools for Process Improvement :
Module 1:
Module 2:
Module 4:
Module 6:
Module 7:
30
Operational Definitions
Brainstorming
Affinity Diagram
Flowchart
Data Collection
Step 12
Operational Definitions
Brainstorming
Affinity Diagram
Flowchart
Data Collection
31
Variables
Data
What type
of data was
collected?
Attribute
Data
Use X and Moving
Range Control Chart
or a Run Chart
Are
any of the
rules for assessing
stability
violated?
No
Step 13
32
Yes
Remove the
change by returning
the process to its
earlier state
Step 9
Operational Definitions
Brainstorming
Flowchart
Data Collection
Run Chart
Control Chart
Step 12
Yes
Do specification
limits exist?
No
Does
the shape of
the Histogram
approximate a
bell curve?
No
Are all
data points
inside the
specification
limits?
Yes
Yes
No
Keep
the
change?
Are the
No
data points
close enough to
the target?
No
Step 9
Yes
Yes
Step 9
Were there any problems with the plan? The team needs to review the planned
improvement as well as the execution of the data collection effort.
33
The tools the team needs to assess whether the change improved the process are
explained in the following modules of the Basic Tools for Process Improvement :
Module 1:
Module 2:
Module 7:
Module 11:
34
Operational Definitions
Brainstorming
Data Collection
Histogram
Yes
If the process
is both stable and
capable, are more
changes
feasible?
Step 9
No
necessary. The point is, enough data must be collected to enable the team to
monitor the performance of the process.
The team must periodically assess whether the process remains stable and
capable . To do this, the data collected in Step 14 should be entered into the control
chart or run chart and histogram developed in Steps 12 and 13 respectively.
Whichever course of action the team pursues, they should complete one last task:
documenting the lessons learned during the process improvement effort and making
the information available to others.
The tools the team needs to standardize the process and reduce the frequency of data
collection are explained in the following modules of the Basic Tools for Process
Improvement :
Module 2:
Module 3:
Module 4:
Module 6:
Module 7:
Module 9:
Module 10:
Module 11:
36
Brainstorming
Decision-Making Tools
Affinity Diagram
Flowchart
Data Collection
Run Chart
Control Chart
Histogram